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Keynote Remarks Of CFTC Commissioner Christy Goldsmith Romero At The Futures Industry Association, Asia Derivatives Conference, Singapore - Protecting Against Emerging Global Fintech Threats In Cyberspace And Cryptocurrencies - Vimarsana News

Keynote Remarks Of CFTC Commissioner Christy Goldsmith Romero At The Futures Industry Association, Asia Derivatives Conference, Singapore - Protecting Against Emerging Global Fintech Threats In Cyberspace And Cryptocurrencies

<p><span>It is a pleasure to be in Singapore today, a Fintech hub.&nbsp; I&rsquo;m particularly excited to be here given that I sponsor the CFTC&rsquo;s Technology Advisory Committee (TAC).&nbsp; Our world was already moving towards a more technology-driven way of life pre-pandemic.&nbsp; The pandemic accelerated our collective use of technology, at the same time, all around the world.</span></p>

FINRA Cracking Down on Broker Misconduct - Vimarsana News

FINRA Cracking Down on Broker Misconduct

Friday, March 12, 2021 On March 10, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-09 announcing FINRA’s adoption of new rules to address brokers with a significant history of misconduct and the broker-dealers that employ them. FINRA adopted the following rules: Amendments to the Rule 9200 Series (Disciplinary Proceedings) and the Rule 9300 Series (Review of Disciplinary Proceeding by National Adjudicatory Council and FINRA Board; Application for SEC Review) authorize Hearing Officers to impose conditions and restrictions on disciplined Respondent...